Federal Regulation
Get the latest news and insights on regulatory developments affecting financial advisors and the stock market and trading, including news about the SEC, DOL, IRS and the Financial Industry Regulatory Authority.
IRS Proposes Changes To GST Predeceased Parent Rule
By Allison BellThe Internal Revenue Service has proposed a rule that could affect interpretation of the "predeceased parent rule."[@@]The proposed regulation would affect financial advisors who ...
August 24, 2004
IRS Proposes Generation-Skipping Trust RegulationThe Internal Revenue Service has proposed a regulation that deals with qualified severance of a trust for generation-skipping transfer tax purposes.[@@]The proposed regulation would ...
August 20, 2004
SEC Asks For More Comments About Fee-Based AdvisorsThe U.S. Securities and Exchange Commission is asking for more advice about how it should treat brokers who get asset-based fees rather than traditional ...
August 18, 2004
Industry Joins Appeal In California Privacy DebateIndustry Joins Appeal In California Privacy DebateThe insurance industry has joined an appeal of a federal court decision that could raise roadblocks and increase the ...
August 11, 2004
Conseco, Inviva Settle With SEC Over Market Timing ChargesConseco, Inviva Settle With SEC Over Market Timing ChargesByConseco Inc. and Inviva Inc. agreed to pay $20 million to settle regulators charges that they helped ...
August 09, 2004
Conseco, Inviva Settle VA Charges With SECNU Online News Service, August 9, 2004, 3:00 p.m. ESTConseco Inc. and Inviva Inc. agreed to pay $20 million to settle regulators' charges that ...
August 01, 2004
FPA sues the SEC over "merrill" ruleAfter years of debate, the Financial Planning Association has sued the Securities & Exchange Commission to block the "Merrill Lynch" rule. Proposed in 1999 but...
August 01, 2004
Getting a Handle on Plan ExpensesThe Securities and Exchange Commission's probe of payments that mutual fund companies make to 401(k) plan administrators and consultants should make it easier for advisors...